guidelines to undertaking and managing a baseline study
TRANSCRIPT
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Guidelines to Undertaking and Managing a
Baseline Study within a Livelihoods
Programme
Key Steps Recommended Timing
1. Use the country livelihoods programme logframe and
global livelihood programme impact indicators to
establish an outline M&E framework for the programme
After programme has
been approved
2. Develop a Terms of Reference (TOR) for the baseline study
and contract necessary support
The 1st
month of the
programme
3. Refine baseline methodology with consultant and
partners
The 2nd
month of the
programme
4. Undertake participatory analyses and planning with
communities in selected sites
The 2nd
month of the
programme
5. Undertake household surveys The 2nd
& 3rd
month of
the programme
6. Data analysis & write up of report The 3rd
month of the
programme
7. Use baseline with partners to refine programme design
and M&E framework
The 3rd
month of the
programme
8. Use baseline as reference for annual programme review I year later
9. Use baseline as reference for programme evaluation 3 years later
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Introduction
Trócaire’s Strategic Framework for 2006-2016 sets out the overall objective and 3 main
outcomes for the global livelihoods programme. Subsequently, the annual global livelihood
meetings in Malawi 2007 and India 2008 developed the global livelihood programme
indicators. (see annex 3)
The annual livelihoods meeting in Uganda 2009 advanced this work further by breaking
down the global livelihood impact indicators and agreeing upon a minimum menu of usable
indicators which all livelihoods programmes could use to measure impact.
This document provides guidance on how to collect information on global livelihoods
programme impact indicators. It sets out a minimum number of indicators that can be used
to report against global impact indicators. Programmes may undertake more
comprehensive baselines that include indicators that reflect their particular context.
Step 0ne: Use the country livelihoods programme logframe and global livelihoods
programme impact indicators to establish an outline M&E framework for the programme
• Prior to undertaking a baseline study, the programme will already have been
designed and approved.
• Use the country livelihood and global livelihood programme impact indicators to
determine what needs to be measured.
• For each indicator identify what information will be collected quantitatively,
qualitatively, and the sources and methods used to collect information. It is helpful
to set this out in a table which can be used as a checklist.
• Remember the baseline can be used to refine the programme logframe/indicators.
The process of establishing the baseline will help refine which indicators are most
feasible for measuring impact; and establishes initial values for indicators which will
assist in making them SMARTer1.
• The global livelihoods programme impact indicators focus on the following areas: (i)
income (ii) food security (iii) livelihood resilience (iv) access to land and water (v)
natural resource management (vi) advocacy (vii) gender (viii) impacts on households
affected by HIV. The global programme impact indicators should be compatible with
country programme indicators which will allow for a common approach to
measuring the impact of programmes at a global level.
• Table 1: Illustrates the different global livelihoods programme impact indicators and
methods for collecting information. These can then be further refined. For example
food security can be measured through looking at number of meals consumed;
dietary diversity; hunger gap etc.
1 Specific, Measurable, Achievable, Relevant, Time Bound
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Table 1: Global livelihoods programme impact indicators and sources of information
Sources & Methods of Information Collection
Common Programme Indicators Household Survey Participatory Processes
Partner
Reports
Income X X X
Food Security X X X
Resilient Livelihoods X X X
Access to Land & water X X X
Natural Resource Management X X X
Livelihood Programmes reflect the
different needs of men and women
X X
Livelihoods of those affected by HIV
are more resilient X X
Evidence that Trócaire influences
Livelihood Related Policies X X
Step Two: Develop a Terms of Reference (TOR) for the baseline study and contract
necessary support
• The TOR might be expected to contain the following sections: Background, Purpose,
Expected Output, Methodology, Timeframe, Budget and Consultant Profile. (See
Trócaire’s Accounting and Learning Framework for more information).
• Key Considerations for the TOR are as follows:
o Purpose: To provide information on the current livelihood situation of the
programme’s target population. The impact areas need to be selected as
relevant from the country programme and global programme impact
indicators. The global programme impact indicators are (i) income (ii) food
security (iii) livelihood resilience (iv) access to land and water (v) natural
resource management (vi) advocacy (vii) gender (viii) impacts on households
affected by HIV. The prospective consultants’ tender should be invited to set
out in detail how the baseline for relevant impact indicators will be
established.
o Expected Output: A report which provides an overview of key findings related
to relevant impact areas; identifies implications for improving and refining
programme design and make detailed recommendations about the
monitoring system for the programme.
o Methodologies: A number of methodologies will be used. The primary data
collection methodology will be a questionnaire administered at household
level. This will be supplemented by up to date secondary data sources where
available. Participatory methodologies including focus group discussions; key
stakeholders interviews and other participatory tools will also be undertaken
to collect qualitative data and refine the questionnaire design. It is important
to ensure that Gender, and HIV issues related to livelihoods (and Risks where
there are significant hazards) are addressed in the participatory processes.
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o Timeframe: The process of undertaking a baseline will most likely be spread
over a two month period. During this time the methodology will be refined
with partners, participatory analyses will take place at selected sites,
household surveys will be administered, the data analysed and findings
disseminated to partners and communities. To be effective it is important
that a tight schedule is maintained between undertaking the research,
feeding back the results and using these to refine the programme.
o Budget: It is important to plan for sufficient funds/time for undertaking the
baseline. It is an important investment in programme quality, aids
programme design, ability to report and facilitates co-financing. The cost will
vary according to context. The Kenya baseline cost approximately €10,000
out of overall annual programme of €400k. This included the fees for an
international consultant for 28 days; paying the survey enumerators and data
entry clerks. Where possible the consultant should be responsible for
managing and paying enumerators and data entry clerks. Partners will be
very important for identifying enumerators and facilitating logistics at the
local level.
o Consultant Profile: The consultant should have significant experience in
undertaking livelihood analyses and research including facilitating/managing
participatory processes, managing household surveys and data analysis. This
should be evident from the proposal/tender they submit. Also, it would be
good to see examples of work that the consultant has previously undertaken.
Step Three: Refine baseline methodology with consultant and partners
• Once the consultant is selected it is important to allow time to explain and discuss in
more detail the nature of the livelihoods programme and the key elements
information is required on. This should allow for a further refining of the
methodology.
• Refining the methodology will involve identifying partners with which to undertake
the household survey, the criteria for selecting survey sites, drafting a questionnaire
and outlining the questions that will be addressed in the participatory processes.
• The programme officer’s main role is to ensure that the areas of impact that Trócaire
wishes to measure are adequately addressed. It is a good idea to a have a checklist
of these areas to ensure they are being addressed.
• The relevant global livelihoods programme impact indicators to be included are: (i)
income (ii) food security (iii) livelihood resilience (iv) access to land and water (v)
natural resource management (vi) advocacy (vii) gender (viii) impacts on households
affected by HIV.
• The consultant should be able to articulate clearly how baselines in these areas will
be established.
• When selecting partners to be involved in the household survey it is important to
include partners who work directly with the communities, to look at two
representative sites for each partner’s work and survey at least 20 households giving
a minimum of 40 households per partner. Programmes are free to use a larger
sample size which improves the accuracy of the data.
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• Once partners, who will be involved in the household survey, have been identified a
workshop needs to be organised to explain the baseline process in more detail.
Step Four: Undertake participatory analyses and planning with communities in selected
sites
• Survey sites should be selected so that they are as representative as possible of the
areas and communities where partners are working.
• Participatory analyses would then be undertaken in selected sites. This will be done
to refine questions in the household survey, identify wealth groups and vulnerable
groups, and collect qualitative data.
• This opportunity should be used to collect information on the local development
context, local livelihoods, and development priorities. This is also the opportunity to
collect information and establish a baseline on gender, HIV, identify vulnerable
groups and undertake a risk analysis (Where there are significant hazards) (see
table 2)
• While the participatory processes will be managed by the consultant in conjunction
with partners it is good for the programme officer to participate in some of these
workshops to ensure that key issues raised are captured and responded to in the
programme
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Table 2: Establishing baseline information for selected Indicators using participatory
processes
Indicator Baseline
Evidence Livelihood
Programmes reflect the
different needs of men and
women
At the outset of the programme there is an opportunity to build on existing analysis
and explore with partners, communities, groups of men and women, and key
informants the extent to which livelihood programmes reflect the needs of men and
women and what improvements can be made. Community level analyses and
planning sessions are good opportunities to collect information for the baseline. It is
useful in a baseline to include an overview of the different livelihoods strategies and
needs of men and women and changes desired during the course of the programme.
Key things to consider are:
- Sex disaggregated data on participants and identification of vulnerable
participants based on gender (widows, female headed households, etc.)
- Gender related differences or vulnerabilities that affect livelihoods
o The different needs, priorities, roles, and livelihoods options of
men and women
o The different opportunities and constraints between men and
women (ownership of assets, labour availability, involvement in
decision making)
- Strategies are adapted to reflect the different needs of men and women
and improve gender equality.
- Indicators should be disaggregated by sex and for male and female headed
households.
- Indicators for improved gender equality should also be identified for
monitoring (e.g. increasingly number of women accessing land)
(see the gender mainstreaming checklist for more information)
Evidence Livelihoods
Programmes reflect the
needs of those affected by
HIV
In high prevalence countries it is important to explore with partners, communities,
groups of people living with HIV, and key informants (such as home base care) the
livelihood opportunities and constraints faced by affected households. Community
level analyses and planning sessions are good opportunities to collect information for
the baseline. The baseline could include an overview of the current situation and
changes desired during the course of the programme.
Key things to consider are:
- Data on vulnerable participants such as estimate of prevalence in the
community; households affected by chronic illness; number of participants
who are members of groups of People Living with HIV (where such group
exits), child headed households, household caring for orphans. It is
important to indicate to what extent such affected households are included
in the programme.
- How HIV affects livelihoods in the programme?
- How overall strategies are adapted to reflect the impact of HIV; what
specific strategies are in place to meet the needs of HIV affected
households and setting indicators to monitor progress
(Also see Checklist for HIV Mainstreaming and Mainstreaming HIV in Trócaire’s
Livelihoods Programmes)
Evidence that communities
are less vulnerable to the
impact of natural and man-
made hazards
Where natural and man-made hazards are factors to be considered in a programme
Trócaire’s Participatory Risk Management Methodology uses familiar Participatory
Learning and Appraisal exercises and have adapted these to incorporate a risk
management focus. Programme Officers/Partners may find this methodology
appropriate to their local context; or select some of its tools to answer certain
questions.
Evidence that Trócaire
Influences Livelihood
Related Policies
The baseline here would briefly outline the key issues the programme prioritises and
the changes desired.
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Step Five: Undertake household surveys (see Annex 1)
• See Annex 1 for more detailed information.
• The consultant would be in charge of developing and piloting the questionnaire,
training and supporting the enumerators, ensuring the quality of data collection and
subsequently of data entry.
• Partners would support logistics at the survey sites and identify suitable
enumerators.
• It would be important for the programme officer to accompany the process for a
couple days to ensure quality and get a feel for the main issues being identified at
grassroots level.
Step Six: Data analysis & write up of report
• This process will be managed by the consultant.
• The key issues for the programme officer to manage are:
o The report is completed quickly so its relevant and timely
o That the information in the report is of direct relevance to the objectives of
the livelihoods programme and the information is accessible for stakeholders
o That the findings and their implications for the programme are clear.
o That Trócaire has copies of datasets and original questionnaires
o To ensure the quality and accuracy of the report
• The consultant should also provide detailed recommendations on the monitoring
system taking into account the role of each partner.
Step Seven: Use baseline with partners to refine programme design and M&E framework
• The baseline findings should be presented and discussed with partners at a
workshop soon after the household surveys and participatory processes have been
completed.
• The Programme Officer’s main role is to ensure that findings are used with the
partners to refine the programme. The baseline can contribute to refining the
programme in a number of ways:
o Refining the logframe and updating indicators. The process should assist in
refining which indicators best reflect the programme objectives, the
feasibility of collecting information on different indicators and how often
information can be collected. It may also be possible to see if targets can be
set for some indicators to make them SMART. This information should be
used to update/refine the M&E framework that will be used by the
programme.
o The baseline may identify changes/adaptations that may need to be made to
the programme
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o The process may also indicate how targeting may need to be improved.
• It is important that the main implications of the baseline are documented and the
PPD are updated as necessary.
Step Eight: Using the baseline as reference for annual programme review
• The partners meeting arranged to feedback the results of the baseline is an
opportunity to refine and discuss with each partner which particular indicators they
will be reporting against, how they will collect information and how often they will
collect this information.
• The indicators which partner will report against will be determined by the nature of
the particular projects that Trócaire funds and be informed by both the common and
specific programme indicators.
• If annual household surveys (undertaken on the same dates a year later, to cancel
out seasonal variations) are a component of annual monitoring then it is important
to ensure that the indicators identified by the original baseline survey are tracked.
• Table 3 Further breaks down the Global Programme Impact Indicators into a menu of
indictors for which information can be collected using annual household surveys.
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Table 3: Menu of Global Livelihood Programme Impact Indicators that could be monitored
using annual household surveys2
Indicator What it tells us Monitoring Implication
Income Select at least 2 Indicators from this group
Household Income Income Changes would need to be analysed in relation to
baseline values and with reference to changes in
income/poverty at the regional/national level. E.g.
Income may fall/rise due to general economic
circumstances. Progress then needs to be
benchmarked against what is happening generally in
the economy as well as the initial baseline values
Income &
Livelihood
Diversity
Income
Diversity/Resilience
Changes in Assets Income/Resilience
Food Security Select at least 2 Indicators from this group
No. of Meals Food Security &
Resilience
Progress here would be measured in terms of baseline
indicators and cross referenced to what is happening at
regional/national level. As improvements/ setbacks
may be attributable to good rains, drought, fertiliser
subsidies it is important to show how programme
participants compare to the average.
Dietary Diversity Food Security and
resilience
Hunger Gap Food Security and
resilience
Resilient
Livelihoods
Select at least 1 indicator from this
Coping Strategy
Index
Resilience Progress here would be measured in terms of baseline
indicators and cross referenced to what is happening at
regional/national level. Savings Resilience/Income
Access to land Use indicators as relevant to the programme
People’s access to
land; and
proportion of land
which is
productively used.
It would be useful to compare changes of people’s to
access of land access to progress reported in partner
reports. It will also be useful to see if as a result of
livelihood intervention people increase their capacity to
use more land productively.
Access to Water Use indicators as relevant to the programme
No. HH using
irrigation, types of
irrigation and area
of HH land under
irrigation.
Progress here would be measured in terms of baseline
indicators
Natural Resource
Management
Use indicators as relevant to the programme
No. HH using land
improvement
practices, types of
practices, and area
of HH land under
improvement
practices.
It is useful to compare changes in this indicators with
partners reports of progress on natural resource
management
2 Data will be disaggregated according by male and female headed households.
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• More detailed progress on other indicators such as access to land and water etc can be
collected from partner reports based on the indicators that have been agreed with each
partner to report against. Table 4 outlines some examples of global livelihood
programme impact indicators that partners may include in their reports.
Table 4: Examples of indicators that can monitored via partner reports
Indicator Considerations
Access to land and water
No. of titles secured for communities/individual
(disaggregated by sex)
No. of land disputes resolved (disaggregated by sex)
Increase in the number of beneficiaries who have
access irrigation (disaggregated by sex)
Increase in the area under irrigation
These two quantitative indicators illustrate
Trócaire’s work on access to land that can
be aggregated across global programmes
The numbers benefiting from/and area
under irrigation can be collated globally
while the type of irrigation used will
depend on the local context.
Natural Resource Management
Increase in area under improved land management
practices
The area under improved land
management in acres/ha is an indicator
that can be aggregated globally while
allowing for techniques of improved land
management to be defined locally.
Evidence that Trócaire Influences Livelihood Related
Policies
Report here would indicate progress
against priorities and desired changes the
identified in the programme baseline.
•••• Participatory methodologies including focused group discussions; key stakeholders
interviews and other participatory tools could be repeated on annual basis to
measure changes on qualitative indicators such as gender, HIV and risks. (see table
2)
Step Nine: Use baseline as reference for programme evaluation
• A programme evaluation will be conducted at the end of the PPD cycle and in many
cases programmes may choose to undertake a mid-term evaluation as well.
• Indicators identified for use in the baseline surveys will again be used in the
evaluation to measure progress and impact of the livelihoods programme.
• The evaluation surveys should target the same areas as the baseline and be
conducted at the same time of year (to cancel out seasonal variations).
• The end of cycle programme evaluation will also serve as the baseline evaluation for
the next phase of the programme.
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• Establishing a good quality baseline also allows progress to be measured a number
of years later, to assist in evaluating partners and Trócaire’s work over the longer
term.
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Annex 1- Guide to Completing the Household Survey
Guide to completing the Household Survey
1. Type and Number of Partners to be involved in the baseline survey
2. Questionnaire Development
2.1 Note on Context Specific Information for Questions
3. Global Livelihood Programme Impact Indicators-Links to Sample Questionnaire
4. Guidance on using the questionnaire for the quantitative component of the baseline
study.
4.1 Notes on Page 1 information
4.2 Section A-Household Information
4.3 Section B-Household Income
4.4 Section C- Household Assets
4.5 Section D-Household Food Production, Stocks & Access to Land & Water
4.6 Section E-Food Consumption
4.7 Section F-Resilient Livelihoods
4.8 Section G- Agricultural Extension
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1. Recommendations for the type and number of partners to be involved in the
baseline survey.
• All partners whose interventions involve working directly with the communities
should ideally be involved in the household survey component of the baseline study.
• A minimum of 40 households per partner should be randomly selected from two
sites (20 households per site or all 40 households from one site if only one is feasible
and if that site can offer a representative sample of the target population in the
partner’s area of work). A representative sample of the target population is a sample
that includes all of the target groups of the programme as well as all of the different
characteristics of households within the target groups.
• A minimum of 100- 200 households should be surveyed for the programme baseline.
• Households surveyed should be selected through random sample. Please ensure that
proper random sampling is adhered to.
• Purposive sampling of Female Headed Households should be used to include Female
Headed Households. For example, if national/local level statistics reveal that 30% of
households are headed by females, the sample should then include 30% female
headed households.
• The findings of the baseline survey should be disaggregated by gender of the head
of household so that the situation of female headed households may be compared
to the situation of male headed households.
2. Questionnaire Development
• The consultant should develop the questionnaire to describe fully the baseline situation
regarding the areas in which impact is to be measured.
• To assist in the design of a questionnaire for the household survey, an example of a
livelihoods household questionnaire that has been developed by Trócaire is included
in Annex 2. This is a modified version of the questionnaire developed by Trócaire
Kenya and used for the Kenya Livelihoods Baseline Survey.
• This questionnaire can be used, and modified (questions can be added or a
substantial number of questions can be removed if necessary). This questionnaire
may simply inform the development of a new questionnaire for the survey and it is
expected that the questions in the sample questionnaire will be useful for this.
However, it is important (no matter what type of questionnaire is used) that the
global livelihood programme impact indicators are addressed.
• The Programme Officer, the partners and the consultant will decide on the final
layout of the questionnaire. The design of the questionnaire will also be informed
through focus group discussion.
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• It is important to note that caution is needed in designing the household
questionnaire and undertaking the survey. Unless carefully constructed and limited
in scope, they may fail to provide needed data on the main variables in time to be
useful to the programme. Therefore, if the questionnaire contains too many
questions and the survey involves too large a sample, this could result in critical
“bottlenecks” in the processing and analysis of data which would hinder the timely
completion of baseline surveys. It is important to collect the minimum of data and to
construct questionnaires that simplify the processing of data as much as possible.
Note that the sample questionnaire provided in annex 2 is very detailed and is
designed to capture information on number areas that may not be needed for all
country baselines.
2.1 Note on context specific information for questions
• In order to develop the household questionnaire, it will be important to determine
local, contextual information which will inform how a number of questions are
presented. This can be determined through the pre-survey participatory focus group
discussions with relevant and knowledgeable stakeholders.
• Local, contextual information such as the types of possible income sources, the
range of different household assets (as well as a good estimate of the value of these
assets), the types of different food groups consumed in the programme area, the
types of coping strategies that are typically adopted (and local perception of how
severe each coping strategy is), types of land improvement technologies, sources of
agricultural extension advice etc, will be needed in order to develop codes to answer
a number of questions and to enter and analyse data more efficiently.
• For example, the pre-survey focus group discussion may reveal that the most
common sources of income in the programme area are: crop sales, remittances,
casual agricultural labour, casual non-agricultural labour, cash for work programme,
livestock sales, skilled trade/artisan, petty trade (sales of firewood etc), sale of
vegetables, beer brewing and sales, a formal salary or pension, fishing, sale of hand
crafts.
• In order to complete the questionnaire more efficiently and assist data entry and
analysis the following codes could be created for income sources based on the above
information. Income sources: 1 =crop sales, 2 = remittances, 3= casual agricultural labour, 4
=causal non-agricultural labour, 5 =cash for work programme, 6 = livestock sales, 7= skilled
trade/artisan, 8 = petty trade, 9 = sale of veg, 10 = beer brewing and sales, 11 = formal salary or
pension, 12 = fishing, 13= sale of hand crafts 14 = No first source of income, 88 = other, 98 = N/A (no
second source of income) 99 = (no third source of income).
• See Section B (Household Income) for an example of how this is done in the sample
questionnaire.
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• There will be a number of other questions in the questionnaire which will require
codes. These will be developed by focus group discussion and/or consultation with
key stakeholders. For example, if looking at migration (see Section Q A13 for
example) coding of potential responses would be helpful, also when looking at B10
(reasons for borrowing money), B11 (source of loan), C1 (non-livestock assets), C7-
C10 (livestock), D9 (most important sources of cereal), E3 (list of food groups),
section F, types of coping strategies adopted, D20 land improvement technologies,
G£ source of agricultural extension.
• Piloting of the questionnaire will be important to ensure that the codes are correct
and encompass the most likely responses.
3.Global Livelihoods Programme Impact Indicators and Link to Sample Questions
• It is recommended to use at least five of the global livelihoods programme impact
indicators that can be selected from the menu of indicators that are set out in table
5. Note that all Trócaire Livelihoods Programmes will be using at least five common
programme level indicators. These five indicators are drawn from “Income” (at least
2), “Food Security” (at least 2) and “Resilient Livelihoods” (at least 1). If programmes
are addressing Access to land and water issues and Natural Resource Management
issues, then these indicators should also be addressed.
• The survey will also be used to collect information on specific country livelihood
programme indicators.
• The “link to questionnaire” column in Table 5 outlines the questions to be answered
in order to address the common programme indicators. These questions are
marked with an * in the questionnaire.
• While some choice is given as to which income, food security, and resilient
livelihoods indicators can be used, all partners involved in the programme baseline
study must use the same indicators.
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Table 5: Menu of Global Livelihood Programme Impact Indicators that could be monitored
using annual household surveys Area Indicator Requirement Link to Sample
Questionnaire in Annex 2
Income Select at least 2 of
these indicators
1.Income Determine the level of household income. Section B Questions B4-B7
2.Income and
Livelihood Diversity
Determine the number of sources of income of the
households, the types of income sources and rank
in importance to the household.
Section B Questions B1-B3
3.Household Assets Determine the amount of livestock and non-
livestock assets that the household has and the
value of these assets.
Section C Questions C1 & C7
Food Security Select at least 2 of
these indicators
1.No. of Meals Determine the number of meals eaten by adults
and children in the household the day before the
survey.
Section E Questions E1,E2
2.Dietary Diversity Determine the number of food groups members of
the household consumed from in the previous day.
Section E, Question E3
3.Hunger Gap
Determine the number of months the main food
stocks (main staple food) ran out before the last
harvest.
Section D Question D 4.
Resilient Livelihoods Select at least one of
these indicators.
1.Coping Strategy Index Determine the extent to which household adopt
coping strategies to cope with food shortages.
Section F Questions F1.1—
F1.6
2.Savings Determine whether household have savings and
what level of savings they have.
Section F Questions F2.1, F2.2
Access to land Select this indicator if
relevant to the
programme.
Access to land. Determine the % of households who have secure
access to and control over land.
Section D Question D 7
Determine the amount of land people have Section D Question D6
Determine how much of their land a household
productively use
Section D Question D8
Access to Water
Use of Irrigation Determine if the household is using irrigation. Section D Question D18
Determine what type of irrigation techniques the
household is using.
Section D Question D19
Determine the % of the household’s land that is
under irrigation.
Section D Question D20
Natural Resource
Management
Select these
indicators if relevant
to the programme.
Use of land
improvement
technologies.
Determine if the household is using land
improvement practices
Section D Question D15
Determine the type of land improvement practices Section D Question D16
Determine % of land under land improvement
practices
Section D Question D17
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4.Guidance on using the sample questionnaire
This part of the guidance note discusses each section of the sample questionnaire, outlines
the information sought in that section, and advises on which questions in each section are
relevant to the menu of global livelihoods programme impact indicators in table 1. In
addition to addressing the global programme impact indicators the programme officer,
partners and consultant will add or remove questions in order to fulfil the requirements of
the baseline study and address specific country programme indicators.
4.1 Notes on Page 1 information
Please ensure that the enumerator records all of the information on the first page of the
questionnaire. i.e. village, NGO, sites, name of enumerator, dates of interview etc.
4.2 Section A - Household Information
This section provides basic but essential background information on the household.
Use as much of this section as is relevant to the programme and add extra questions if
necessary. At a minimum the following questions need to be answered:
• Name of respondent, gender and age of head of household.
• Whether respondent is head of household.
• Total number of persons in the household.
Other areas in this section that may possibly be of interest to the programme are
establishing the literacy level and the educational attainment of the head of household as
well as dependency ratio, migration and hospital/clinic visit information.
The dependency ratio may be of interest to the programme. The dependency ratio shows
how many members of the household depend on healthy and economically active adults (or
potentially economically active adults.) Normally, the higher the dependency ratio, the
more vulnerable the household is to food insecurity. This can be a useful indicator to
identify different vulnerabilities between male headed households, female headed
households and those households caring for people with illness or disability.
The dependency ratio can be calculated by using the formula below.
Number of hh members <16 or >65 + hh members unable to work through disability or sickness x 100
Number hh members aged >16 and < 65
i.e the number of household members aged 16 or under and the number of household
members aged 65 or over plus the number of household members who are unable to work
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due to disability or sickness multiplied by 100 and then divided by the number of household
members who are older than 16 and younger than 65.
4.3 Section B – Household Income
Calculating the average household income over the previous period (e.g.) month can be a
good indicator of livelihood security (particularly in communities who are more integrated
into the cash economy). The number of livelihood strategies or sources of income is also a
useful indicator of livelihood diversity.
Use as much of this section as is relevant to the programme (remove and add questions as
necessary). Ensure that the questions relevant to the income indicators as laid out in Table
5 above are answered.
Therefore at a minimum, the following areas need to be addressed:
• Sources of income/livelihood
• Total household monthly income
Income sources will be specific to the local context and the range of income sources will be
determined through Focus Group Discussion. In the sample questionnaire there are
examples of codes for income sources. While codes for 12 different income sources are
provided in the questionnaire local focus group discussions may reveal that a smaller or
greater number of income sources represent all principle income sources in the operating
context.
4.4 Section C – Household and Livestock Assets
Section C looks at non livestock and livestock assets as indicators of household assets.
Change in asset ownership is a strong indicator of improvements or deteriorations in
livelihood security. It is also easy for respondents to recall assets. Livestock ownership is a
good indicator because it is quite responsive – animals are often the first things that are
bought as an investment or sold when the situation deteriorates. Non livestock assets such
as home improvements are also good indicators of improving livelihoods.
Use as much of section C as is relevant to the programme. If you intend to use the
household assets indicator, you will at least need to establish the value of household assets
and will therefore need to address question in C1 and question C7 for livestock assets.
Other questions from this section that you may wish to use, address the sale (and reason for
sale) as well as the acquisition of assets. For example questions C2- C6 and C8-C10 explore
recent changes in assets, where large sudden changes may be a sign of the onset of a crisis.
This information may or may not be necessary for your programme.
19
You will need to compile a list of non-livestock household assets that are relevant to the
context of the programme. This will be done through the initial focus group discussion with
relevant stakeholders and though piloting of the questionnaire. Ensure that assets are
included which would indicate a change in food/income/livelihood security of the
household. Ensure that as accurate as possible an estimate of the value of each asset is
determined. Include a list of assets with estimates of value in the annexes of the final
report. The total value of non livestock assets will be calculated during data analysis.
When addressing question C7, you will need to compile a list of livestock household assets
and their values as are relevant to the context of the programme. This can be determined
through focus group discussion. Ensure that assets are included which would indicate a
change in food/income/livelihood security of the household. The total value of livestock
assets will be calculated during data analysis.
Note that, for reporting purposes, the value of total household assets (disaggregated by
livestock and non-livestock assets) is all that needs to be presented to satisfy the indicator.
4.5 Section D-Household Food Production Stocks and Sources
Use as much from this section as is relevant for your programme. If you are using the
“Hunger Gap” you will need to address questions D1 and D4. When addressing the “Hunger
Gap” question, it is assumed that we are concerned with stocks of the most important
cereals.
This section also contains questions on current stocks of staple foods, the length of time
these stocks will last (from the time of the survey), the most important sources of
cereals/staple foods, the amount of land owned, cultivated and harvested, reasons for not
cultivating or harvesting, the size of the last cereal harvests and the percentage of cereal
lost to pests.
If your programme is addressing access to land issues, the question in this section regarding
secure access to land should be addressed. Responses to this question will determine the
number of households that perceive their own access to land to be secure. For livelihoods
programmes with a strong focus on access to land, more information on land access and
control and greater detail on individual cases can be obtained from other sources including
partner reports etc.
If your programme is addressing improved land practices and/or water conservation, these
questions in section D should be addressed. If your programme is addressing agricultural
extension services, the questions on agricultural extension must be addressed. Again, if the
programme has a strong focus on land improvement and water conservation, and
agricultural services/other services, more information relevant to the baseline study may be
obtained from other sources, including partner reports.
20
4.6 Section E-Food Consumption
Better food security is reflected in increases in consumption. “Number of Meals” is a
practical indicator to use as the respondent is usually able to accurately remember the
number of meals consumed by adults and children on the day before the survey. Section E
contains questions (E1 and E2) to address the “number of meals” indicator.
In many places increases in food security will be reflected in increased dietary diversity –
households add meat, fish, vegetables and dairy produce to their diets. This question can be
asked in the context of consumption in the week or the day prior to the survey – as long as
there is consistency between baseline and subsequent surveys in terms of time of year,
sample profile etc. Change in dietary diversity is then indicated by the increases or
reductions in the number of food types consumed.
Note: For reporting purposes, presenting the total sum of dietary diversity of the
households will be sufficient (rather than presenting information on all food groups).
4.7 Section F- Resilient Livelihoods
There are two components to the resilient livelihoods section – coping strategy index and
savings.
The coping strategy index is an index based on how households adapt to the presence or
threat of food shortages. The coping strategy index is most effectively applied if the person
within the household who has the primary responsibility for preparing and serving meals is
asked a number of questions regarding how households are responding to food shortages.
If using the coping strategy index, you’ll need to look at questions F1.1-F1.6. People will
respond to food shortages differently depending on their context. Therefore, it is important
that questions F1.1-F1.6 are modified to suit the context of the programme. This will involve
ensuring that the questions reflect the most common local coping strategies e.g. a question
may be added such as “has the household consumed a larger than usual amount of wild
foods” or has the households harvested immature crops or relied on casual labour for food,
borrowed money to buy food, reduced expenditure on non-food items, healthcare,
education, livestock etc to buy food.
Box 1: Approaches to Looking at the Coping Strategy Index
The programme context will also determine how severe communities perceive different coping
strategies to be. Weighting the coping strategies according to severity will be necessary if you decide
to use option C in the table below to calculate a weighted sum of different coping strategies (where
the weights reflect the frequency of use and the severity of the household’s response).
The coping strategy index will need to be tailored during the pre-survey focus group discussion to
identify context specific coping strategies.
21
There are several ways of summarizing the information obtained from these questionnaires.
A) You can count the number of different coping strategies used by the household. Here, this is
the number of strategies that the household used often, from time to time, or rarely. The
higher the sum, the more food-insecure the household.
B) Calculating a weighted sum of these different coping strategies, where the weights reflect
the frequency of use by the household. A simple way of doing so is to make the weights
consecutive, so that "often" is counted as a 4, "from time to time" is counted as a 3, "rarely"
is counted as a 2, and "never" is counted as a 1. The higher the sum, the more food-insecure
the household.
C) Calculating a weighted sum of these different coping strategies, where the weights reflect
the frequency of use—as described above—and the severity of the household's response. A
simple way of doing so is to ascribe a weight of 1 to the use of strategies such as eating less
preferred foods (question #1) and reducing portion sizes served to men, children, and
women (questions #2, 3, and 4), a weight of 2 to skipping meals (question #5) and a weight
of 3 to skipping eating all day (question #6). Again, the higher the sum, the more food
insecure the household.
If necessary further information or examples on how to practically use the Coping Strategy Index can
be obtained from the Evaluation and Impact Unit in Maynooth ([email protected])
A second indicator of a household’s resilience is its level of cash savings. See questions F2.1
and F2.2 for examples of questions regarding savings. This indicator may be particularly
useful if the programme is operating in area that is well integrated into the cash economy.
4.9 G –Services
If your programme is addressing access to services, such as agricultural extension services,
then questions such as those outlined in Section G should be addressed. More information
relevant to the baseline study may be obtained from other sources, including partner
reports.
22
Annex 2- Sample Household Questionnaire
(Note Questions with an * are linked to the menu of global livelihood
programme impact indicators)
Village / Location_____________________________________ |__|__|
NGO _______________________________________________ |__|__|
Site GPS Coordinates_______________________________________
Name of Enumerator ________________________________________
23
A: HOUSEHOLD INFORMATION
A1 Name of respondent
A2 Is the respondent the head of the household? 1 = Yes, 2 = No
A3 Is the household male (MHH) or female headed?
(FHH)
1= MHH, 2 = FHH
A4 Age of head of household
A5 Is the head of household literate? 1 = Yes, 2 = No
A6 How many years education did head of household complete?
A7 Total number of people in the household
A8 How many members are 16 years old or less?
A9 How many members are 65 years old or more?
A10 How many of the adults in the HH between ages of 16 and 65 are unable to
work? (Disability, illness etc.)
A11 What is the Dependency Ratio of the Household?
Dependency Ratio can be calculated using formula below
No.of household members <16 or >65 + hh members unable to work through disability or illness x 100
No. of hh members aged >16 and < 65
A12 How many household members have migrated in the last three months?
A13
What were the reasons for
migration? (identify each
case)
1 = To work ; 2 = For school; 3 = To help other
HH;4 = To relieve strain on this HH; 5 = Stayed
behind when this HH moved; 6 = Marriage; 7 =
Death of parent/ caretaker ; 88 = Other (specify
above)
|__| |__||__| |__|
A14 How many times in the last 3 months have members of the household had to
use the services of a doctor
24
B. Household Income What were the 3 most important sources of income for your household?
B1* First most important income
source
|___|
Specify if other (88)_ _ _ _ _ _ _ _ _
IF NO SOURCE OF INCOME AT ALL
(CODE 13), GO TO B3
B2* Second most important
income source
|___|
Specify if other (88)_ _ _ _ _ _ _ _ _ _
B3* Third most important
income source
|___|
Specify if other (88)_ _ _ _ _ _ _ _ _ _
CODES FOR B1,B2,B3
Income sources: 1 = Remittance; 2 = Crop sales; 3 =Casual agric. labour; 4 = Casual non-agric. Labour; 5 = Livestock
sales (cattle, chicken, goats etc.) ; 6 = Skilled trade/artisan; 7 = Medium/large Business; 8 = Petty trade (firewood sales,
etc) ; 9 = Beer Brewing; 10 = Formal salary or pension; 11 = Fishing; 12 = Vegetable sales; 13 = No 1st source of income
at all; 88 = Other; 98 = N/A (no 2nd source of income) 99 = (no 3
rd source of income)
B4* How much does your household make from its first income source in the last period (e.g.
month) (B1)?
B5* How much does your household make from its second income source in the last period
(B2)?
B6* How much does your household make from its third income source in the last period (B3)?
B7* What was your household’s total cash income last period (e.g. month)?
B8 How much of your household’s income was spent on food last period?
B9 During the last 3 months, did you or any member of
your household borrow money?
1 = Yes; 2 = No.
IF NO, GO TO C
B10
What were the main reasons to borrow money?
PLEASE RECORD THE 2 MAIN REASONS: 1= to buy food; 2 = to pay for health care; 3
= to pay for funeral; 4 = to pay for other social events; 5 = to avoid selling assets; 6 = to
buy agric. Input; 88 = other reason (specify)
|__| |__|
88 = other _ _ _ __ _
B11
From whom did you borrow money?
1 = Friends/relatives; 2 = Bank / NGO; 3 = Money lender; 88 = Other (SPECIFY)
|__|
88 = other _ _ _ __ _
25
C. Assets 3
C1*
How many of following
items are owned by you or
any member of your
household?
IF DON’T OWN ONE
SPECIFIC ITEM OF THE LIST,
WRITE IN 00
Chair
Table
Bed
Bicycle
Hoe
Axe
Sickle
Panga
Mortar
Radio
Ox/donkey cart
Mattress
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
Buckets
Iron roof sheets
TV
Harrow
Metal granary
Maize mill
Plough
Cultivator
Treadle pump
Fishing nets
Canoe
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
|___|
3 The main non livestock assets and values for these will be determined by focus group discussion as
appropriate to the local country context. The numbers of assets are recorded in the questionnaire and these
are later used in data analysis to generate a total value for non livestock assets.
26
C2 Did you sell any HH assets in the past 3 months?
1 = Yes; 2 =
No.
(IF NO, GO TO C6)
C3 &
C4
CIRCLE A YES OR NO
ANSWER FOR EACH ITEM
IN THE LIST
FOR EACH YES IN C4,
INDICATE REASON in C5
FROM CODE LIST AT
BOTTOM OF PAGE
C4 What did you sell?
Hand tools
Transport assets
Fishing assets
Non-productive
assets
YES
1
1
1
1
NO
2
2
2
2
C5 What was
the main
reason for sale
of each type?
Hand tools
Transport
assets
Fishing assets
Non-productive
assets
|___| 88 = Other
|___| 88 = Other
|___| 88 = Other
|___| 88 = Other
C5 Did your Household acquire any asset in the past 3 months
1 = Yes; 2 =
No.
(IF NO, GO TO C8)
C6
What did you acquire?
Hand tools
Transport assets
Fishing assets
Non-productive assets
YES
1
1
1
1
NO
2
2
2
2
Possible Definitions and coding for C4: Hand tools: = Hoe, sickle, axe, Transport assets: ox-cart, bicycle,
canoe; Fishing assets: canoe, fishing net; Non-productive assets: bed/mat, table, chair, TV, radio.
27
C7 –
C104
Livestock type
C7*
How many
livestock does
your household
currently own?
C8 How many did you
acquire in the past
3 months?
IF NONE, TYPE IN 0
C9
How many did you sell
in the past 3 months?
IF NONE, TYPE IN 0
C10 What was the main reason to sell this
livestock (coding below)
Draught cattle
Cattle
Donkeys
Sheep/Goats
Pigs
Poultry
1. |___|
2. |___|
3. |___|
4. |___|
5. |___|
6. |___|
1. |___|
2. |___|
3. |___|
4. |___|
5. |___|
6. |___|
1. |___|
2. |___|
3. |___|
4. |___|
5. |___|
6. |___|
1. |___|
2. |___|
3. |___|
4. |___|
5. |___|
6. |___|
Reasons for sales for C5 and C11: 1 = No longer needed; 2 = To pay normal daily expenses; 3 =To buy food
for HH; 4 = To pay medical expenses; 5 = To pay other emergency; 6 = To pay debt; 7 = To pay social event; 8 =
To pay funeral for HH member; 9 =To pay funeral for someone outside HH ; 10 = To pay school expenses; 88 =
Other reason (specify).
4 The main livestock assets and values for these will be determined by focus group discussion as appropriate to
the local country context. The numbers of assets are recorded in the questionnaire and these are later used in
data analysis to generate a total value for livestock assets.
28
D. Household Food Production, Stocks and Access to Land & Water
D1
Does your household have its main staple food in stock now?
1 = Yes. 2 = No - IF NO, GO TO D3
D2 How many months do you think your current main staple food stock (from own production) will last? IF LESS THAN A MONTH, WRITE 00
|__|__| NUMBER OF MONTHS
THEN GO TO D4
D3
How many months ago, did your main staple food stock (from own
production) finish?
IF LESS THAN A MONTH AGO, WRITE 00
IF THEY NEVER HAD STOCK, WRITE 98
|__|__| NUMBER OF MONTHS
D4*
How many months before your last harvest did your main staple
food stock run out?
IF LESS THAN A MONTH, WRITE 00
|__|__|
NUMBER OF MONTHS
D5
During the past 3 months, what were your household’s most important sources of cereals / staple food to eat? RANK IN ORDER OF IMPORTANCE FROM 1 TO 3 (most important source = 1)
1. From own harvest
2. Casual Labour
3. Borrowed
4. Gifts from relatives / neighbours / community
5. Free food aid (eg WFP / NGO)
6. Food received though school feeding
|____|
|____|
|____|
|____|
|____|
|____|
7. Food for Work
8. Purchased from
shops
9. Food barter
10. No 2nd source of
food
11. No 3rd source of
food
|____|
|____|
|____|
|____|
|____|
D6* What is the total amount of land that your household owns? (1 acre =0.4h/a) |__|__| hectares
D7* Does this household have secure access and control over its land? 1 = Yes; 2 = No |_____|
D8* During this past season, how much land did you productively use?
|__|__| hectares
D9 During this past season, how much of this land did you harvest? |__|__| hectares
D10 What were the reasons for not cultivating or harvesting all your land? Indicate all that apply
Reasons for not cultivating or harvesting : 1 = planned fallow ; 2 = lack water ; 3 = lack seeds ; 4 = lack other input ; 5 = lack labor; 6 = flood ; 7 = destroyed by insect / birds / animal ; 8 = drought ; 9 = rented to someone else to cultivate ; 88 = other (specify)
|__| |__||__| |__|
88 = other _ _ _ __ _ _ _
29
D11 What was your maize yield last harvest?
|____| kg ( 1 sack = 90kg) (or
relevant local measure)
|____| oxcarts (or
relevant local
measure
D12 What was your sorghum yield last harvest? |____| kg ( 1 sack = 90kg) (or
relevant local measure)
|____| oxcarts (or
relevant local
measure
D13 What was your millet yield last harvest? |____| kg ( 1 sack = 90kg) (or
relevant local measure)
|____| oxcarts (or
relevant local
measure
D14 In a normal year what percentage of your maize do you lose to pests? |____|%
D15* Do you use land improvement practices? 1= Yes; 2 = No |____|
D16* What type of land improvement practices do you use? |____|
D17* What % of your land is under improvement practices? |___| %
D18* Do you use irrigation to cultivate crops? 1= Yes; 2 = No |____|
D19* What type of irrigation techniques do you use? |____|
D20* What % of your land is under irrigation? |___| %
Coding for D20: Developed through focus group discussion according to local context e.g. 1= terracing etc. Coding for D23: Developed through focus group discussion according to local context e.g 1= drip etc. Coding for D21 and D24: 1= 0-20%, 2= 20-40%, 3= 40-60%, 4 = 60-80%, 5= 80-100%
30
E. Food Consumption
E1*
How many meals (including porridge or bread) did adults eat yesterday in your household?
(Respondent should clearly outline the actual meals when responding)
|____|
NUMBER
OF MEALS
E2*
How many meals (including porridge or bread) did the children eat yesterday in your household?
IF NO CHILDREN IN THE HH, WRITE 88 = N/A
|____|
NUMBER OF
MEALS
E3*
Which of the following foods did somebody in your household eat as part of a meal or snack yesterday?
GO THROUGH THE LIST WITH RESPONDENT AND GIVE A YES OR NO ANSWER FOR EACH ITEM OF THE LIST
YES NO YES NO
1. Ugali, millet, bread or other cereals 7. Cooking oil /fats
2. Cassava, potatoes, other tubers 8. Meat
3. Vegetables or leaves 9. Egg(s)
4. Fruits (including wild fruits) 10. Fish
5. Legumes (beans, groundnuts etc) 11. Sugar or sugar products
6. Milk 12. Other
1. Sum of Dietary Diversity: |_______| Note: For every food group that is marked “Yes”
assign a score of 1. Add up score for total sum of dietary diversity.
31
F- Resilient Livelihoods
F 1 Coping Strategy Index
The most knowledgeable person in the household regarding food preparation and distribution within the
household is asked a series of questions of the following form.
In the last seven days: Never
1
Rarely (once)
2
From time
to time (2 or
3 times)3
Often (5 or
more
times) 4
F1.1* Has the household consumed less preferred foods?
Weight = 1
F1.2* Have you reduced the quantity of food served to men in
this household?
Weight = 1
F1.3* Have you reduced your own consumption of food?
Weight =1
F1.4* Have you reduced the quantity of food served to
children in this household in the last seven days?
Weight =1
F1.5* Have members of this household skipped meals in the
last seven days?
Weight = 2
F1.6* Have members of this household skipped meals for a
whole day?
Weight = 3
F2 Savings
F2.1* Does your household have cash savings? 1 = Yes, 2 = No
F2.2* If your household has cash savings, how much savings do you
currently have? Local Currency |___________|
32
G- Agricultural Extension
G1 Have you received some form of agricultural extension advice in the past
year?
1= Yes;
2 = No
G2 How often (annually) are you visited by an agricultural extension worker?
G3 What was the source of this agricultural extension advice?
G4 Did you have to pay for the extension service? 1= Yes; 2 = No,
G5 How would you rate the quality and usefulness of the advice you received from the agricultural
extension worker?
Coding for G3: e.g. 1= Gov, 2 =NGO, 3 = Church, 4 = Private Sector, 5=Other
Coding for G5: 1=Excellent, 2 = Good, 3 = Satisfactory, 4= Unsatisfactory, 5= Very Poor
--------------------------- END OF QUESTIONNAIRE ---------------------
33
Annex 3- Global Livelihood Programme Indicators
34
Organisational Programme Objective: To increase the capacity of poor, marginalised and vulnerable people to secure sustainable and just
livelihoods.
Organisational Programme Outcome Outcome Indicator Means Of Verification Impact Indicator
1
People have sustainable & robust livelihoods
that provide them with food security, a
growing income and an improved quality of
life.
• Programmes apply strategies that improve the quality & quantity of food that targeted communities produce & use in a sustainable way
• Programmes pilot & adopt innovative & sustainable approaches to agriculture
• Programmes & strategies promote diversification within agriculture including adaptation to climate change
• Programmes & strategies increase farmers access to value added activities such as processing & marketing
• Improve access to, management of & control over strategic assets (esp land & water) for vulnerable groups with a particular focus on women’s rights.
Country strategic plans
Programme reviews
Stories of change
Case studies
Advocacy strategies developed
Livelihoods Policy
Increased food security, income &
improved quality of life within
targeted communities
35
• Programmes & strategies diversify livelihoods options for the poor
• Livelihoods programmes support policy & advocacy work aimed at addressing structural barriers to sustaining livelihoods.
• Trócaire carries out collaborative advocacy to influence the trade & food security policies of selected governments and international bodies.
• Livelihoods programmes reflect programmes the different needs & priorities of women & men.
• Livelihoods programmes in high prevalence countries work towards identifying specific strategies that respond to the needs of households affected by HIV/AIDS
Increased security of access to land
for women.
Evidence of sustainable
management approaches to
land/water & other natural
resources
Evidence that Trócaire & partners
influence livelihood related policies
at a local, national an international
level. (trade, land, agriculture, food
security etc)
36
Programme analysis & strategies
clearly reflect the different needs
of men and women
Specific strategies identified &
applied
Livelihoods programmes respond to
the needs of women & men.
Evidence that Livelihoods of those
affected by HIV protected & more
resilient.
37
2
People’s Livelihoods are more resilient –
they are better able to withstand & manage
the impacts of natural & man-made
disasters.
• Strategies in place to increase Trócaire & partners’ capacity to carry out vulnerability/risk analysis to inform programme design
• Programmes more clearly identify risk & the appropriate actions to reduce them.
Programme reviews
Documented vulnerability analysis
Case studies
Programme documents
Risk reduction strategies
identified in programmes
Evidence that communities are less vulnerable to the impact of disasters
HIV/AIDS affected Households less
vulnerable to livelihoods shocks
3
Trócaire increasingly researches & addresses the issue of migration
Trócaire in Ireland will develop an
overview of the key issues and
actors related to migration in
Ireland.
Trócaire adopts a more strategic
approach to migration issues
At least two regions have
developed strategies to deal with
the issue of migration.
(International & internal where this
is significant)
Country/regional strategic plans
Programme reviews
38